Information Collection List

IC Title Status Responses Hours Dollars Document Type Form No. Form Name
Rule 17Ad-22(b)(1) - Measurement and Management of Credit Exposures New 9 1170 0
Rule 17Ad-22(b)(2) - Margin Requirements New 9 1170 0
Rule 17Ad-22(b)(3) - Financial Resources New 9 1170 0
Rule 17Ad-22(b)(4) - Model Validation New 9 1170 3888000
Rule 17Ad-22(b)(5) - Non-Dealer Access New 9 1170 0
Rule 17Ad-22(b)(6) - Portfolio Size and Transaction Volume Restrictions New 9 1170 0
Rule 17Ad-22(b)(7) - Net Capital Restrictions New 9 3060 0
Rule 17Ad-22(c)(1) - Record of Financial Resources New 36 1584 0
Rule 17Ad-22(c)(2) - Annual Audited Financial Report New 17 2771 8500000
Rule 17Ad-22(d)(1) - Transparent and Enforceable Rules and Procedures New 17 2210 0
Rule 17Ad-22(d)(10) - Immobilization and Dematerialization of Stock Certificates New 17 2210 0
Rule 17Ad-22(d)(11) - Default Procedures New 17 2771 0
Rule 17Ad-22(d)(12) - Timing of Settlement Finality New 17 2210 0
Rule 17Ad-22(d)(13) - Delivery Versus Payment New 17 2210 0
Rule 17Ad-22(d)(14) - Risk Controls to Address Participant's Failure to Settle New 17 2210 0
Rule 17Ad-22(d)(15) - Identification and Management of Physical Delivery Risks New 17 2771 0
Rule 17Ad-22(d)(2) - Participation Requirements New 17 3791 0
Rule 17Ad-22(d)(3) - Custody of Assets and Investment Risk New 17 2210 0
Rule 17Ad-22(d)(4) - Identification and Mitigation of Operational Risk New 17 2210 0
Rule 17Ad-22(d)(5) - Money Settlement Risks New 17 2210 0
Rule 17Ad-22(d)(6) - Cost-Effectiveness New 17 2210 0
Rule 17Ad-22(d)(7) - Links New 17 2210 0
Rule 17Ad-22(d)(8) - Governance New 17 2771 0
Rule 17Ad-22(d)(9) - Information on Services New 17 2771 0
Rule 17Ad-23 - Clearing Agency Policies and Procedures to Protect the Confidentiality of Trading Information of Clearing Agency Participants New 17 22633 56667
Rule 17Ad-25 - Clearing Agency Procedures to Identify and Address Conflicts of Interest New 17 4420 226667
Rule 17Ad-26 - Standards for Board or Board Committee Directors New 17 2210 317333
Rule 17Aj-1 - Dissemination of Pricing and Valuation Information by Security-Based Swap Clearing Agencies that Perform Central Counterparty Services New 6 560 0
Rule 3Cj-1(b) - Designation of Chief Compliance Officer New 17 5338 226667
Total burden requested under this ICR: 445 86571 13215334  
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